Tag: E-Delivery
IAA Priorities Advanced by House Financial Services Committee
IAA priorities to alleviate the regulatory burdens on smaller advisers, expand the definition of accredited investor, and allow e-delivery of disclosure documents were advanced by the House Financial Services Committee.
May 02, 2023
Tags: Accredited Investor, E-Delivery, House Financial Services
AMAC: Tailor Regs for Smaller Advisers, Maintain Technology-Neutral Approach
The SEC's Asset Management Advisory Committee (AMAC) is recommending that the SEC address the IAA's calls for relief for smaller investment advisors through tailored regulation and assessment of the cumulative impact of regulation on small firms.
November 04, 2021
Tags: AMAC, E-Delivery, Gail Bernstein, Gary Gensler, Hester Peirce, Industry Snapshot, Karen Barr
The issues include sustainable investing, proxy voting, modernization of the Custody and Pay-to-Play Rules, e-delivery, investor testing of Form CRS, appropriate regulation of smaller advisers, and effective coordination with other regulators.
May 19, 2021
Tags: Custody, Diversity & Inclusion, E-Delivery, Form CRS, Gary Gensler, Karen Barr, Pay-to-Play, Proxy, Reg BI, Sustainable Investing
The SEC’s Asset Management Advisory Committee has made preliminary recommendations to address COVID-19-related operational issues, including electronic delivery, remote work, e-authorization, and dematerialization.
November 10, 2020
Tags: AMAC, Compliance, Coronavirus, COVID-19, E-Delivery, Electronic Delivery
SEC Investment Management Director Blass Discusses Regulating for the Future
The SEC’s Division of Investment Management Director Dalia Blass discussed in a recent speech the Division’s philosophy of forward-looking regulation.
October 05, 2020
Tags: Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, ETFs, Valuation
IAA, Other Industry Groups Call for Modernized E-Delivery Framework
The IAA, along with several other industry trade groups, has issued a discussion paper urging the SEC to update its regulations to establish electronic delivery as the primary means for delivering required disclosures to investors.
September 23, 2020
Tags: Disclosure, E-Delivery, Electronic Delivery
The Time Has Come to Move Away from a Regulatory Preference for Paper Delivery
The COVID-19 pandemic has proven to be a great disruptor, requiring advisory firms to make a wide range of unanticipated operational changes.
September 22, 2020
Tags: Columns, Disclosure, E-Delivery, From the General Counsel, Gail Bernstein
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division.
August 11, 2020
Tags: Advertising Rule, AMAC, Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, Private Funds, SEC Investment Management
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